Broker-Dealers

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Blackrock To Acquire Robo-Advisor

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The firm hopes to use the robo-advisor to enable banks, brokerage firms, insurers and 401(k) plans to use the company's digital platform to serve mass affluent investors and millennials.

Regulator: Broker-Dealer Audits Are Unacceptably Faulty

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The Public Company Accounting Oversight Board charged that deficiencies in the audits of broker-dealers were intolerably high.

A How-To Guide For Opening Your Own Wealth Management Firm

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Several independent investment advisors, many of them former brokers, give their advice on opening an independent firm.

Ameriprise Rated Top In Retirement Plan Quality By Affluent Near-Retirees

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Hearts & Wallets has rated Ameriprise tops in retirement income plan quality for near-retirees working with full-service firms.

Finra’s BrokerCheck Could Become Standard On B-D, Registered Rep Websites

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Links to Finra BrokerCheck reports may soon be required for the websites of broker-dealers, registered reps and branch offices.

Cetera To Shut Down J.P. Turner B-D

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Cetera Financial Group will be shutting down J.P. Turner, its Atlanta-based broker-dealer acquired in June 2014.

Lights, Camera, Action!

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Videos increasingly are becoming an effective marketing tool for advisors.

A Slowdown In The Big Migration

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Perversely, independent B-Ds would benefit if advisors were feeling a bit more pain...

'Dissident' Candidate Wins Finra Election

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Brian Kovack has been elected to the Finra board of governors.

LPL To Begin Robo-Advisor Pilot Program

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LPL is about to begin testing on robo-advice technology that it hopes to roll out to its advisors next year.

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